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Appeal. An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under . The notice of appeal shall be filed with the Office of General Counsel of FINRA, with a copy of the notice also provided to the appropriate department or staff of FINRA.
For Case Participants. DR PORTAL. Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
The FINRA Rule 9300 Series establishes formal requirements for the notice of appeal. A party’s failure to meet the requirements may result in a loss of the right to appeal. These requirements and the procedures governing the appeal process are beyond the scope of this Guide.
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12 Μαρ 2021 · Appeal to FINRA’s National Adjudicatory Council, which, in 2016, upheld the finding of liability and actually increased the sanctions. Appeal from the NAC to the SEC which, in 2017, remanded the case back to the NAC for a better explanation of its reasoning.
The FINRA Code of Procedure sets forth a multi -layered hearing and appeals process that governs disciplinary actions against FINRA-affiliated brokers and dealers.
Discovery Guide ( Guide ) used in customer arbitration proceedings. 1 According to FINRA, the Guide supplements the discovery rules contained in the FINRA Code of Arbitration Procedure for Customer Disputes ( Customer Code ). It includes an introduction describing the discovery
